Regulatory Compliance is pleased to announce the latest product that will now be offered exclusively to broker-dealer Compliance Partners. The Compliance Toolbox is a gadget we have prepared to assist our clients with organizing key compliance documents, contact information, and other frequently requested reference materials.
The toolbox will include the following:
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Compliance Checklist – Based on popular demand, we have created a checklist to help you stay on top of your compliance responsibilities on a month-by-month basis.
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Membership Agreement – A copy of your current membership agreement is included for easy access and reference. We have included an overview on how to locate key pieces of information in your agreement.
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Frequently Asked Questions – This bound compilation of questions and answers includes topics ranging from registration and customer complaints to accounting.
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Record Retention Tables – Our newly created record retention table shows how long certain documents are required to be retained, how long they must be stored in a readily accessible location, and which documents require principal approval/signature.
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Common Exam Findings – We have put together a list of FINRA’s most common findings over the past couple of years, and encourage you to review and use these findings as a starting point in preparing for your next FINRA exam.
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Frequently Requested Documents – The top 10 most requested template documents are printed and included in the Compliance Toolbox, as well as on a CD containing each of our 60-plus templates.
Existing broker-dealer Compliance Partners should expect to receive their Compliance Toolbox in mid-January. If you would like to learn more about the Compliance Toolbox, please contact your account manager. If you are not currently part of the Compliance Partners program and are interested in additional services, the Compliance Toolbox, or any other products offered by Regulatory Compliance, please contact our sales department at 603-434-3594.
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